other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

of different intermediaries amid the fast changing industry and technological environments. Some of the first focuses of the principles-based supervision include company policy, compliance system, risk

;">ที่ ข.(ว) 15/2546 เรื่อง ขอความร่วมมือในการให้ข้อมูล ตามที่สำนักงานขอให้บริษัทจัดส่งสำเนารายงานการดูแลการปฏิบัติงานประจำปี (Annual Compliance Report) และแจ้งสรุปจำนวนข้อร้อง

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ("สำนักงาน") จะจัดอบรมเชิงปฏิบัติการ (Compliance Meeting) ไตรมาส 3/2553 ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลักทรัพย์ (Xompliance officer) ในวันพฤหัสบดี

guidelines for compliance with other requirements stipulated by the PSA and any that may be stipulated in the future. We have conducted studies and informed relevant staff to ensure that operations comply with

compliance with the changing regulations in order to mitigate their impacts upon them directly or indirectly via customers, and maintain profitability. 5. Climate Change Risk For Thailand, extreme weather

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1